0000018230-13-000499.txt : 20131203 0000018230-13-000499.hdr.sgml : 20131203 20131203153949 ACCESSION NUMBER: 0000018230-13-000499 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131129 FILED AS OF DATE: 20131203 DATE AS OF CHANGE: 20131203 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CATERPILLAR INC CENTRAL INDEX KEY: 0000018230 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION MACHINERY & EQUIP [3531] IRS NUMBER: 370602744 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 100 NE ADAMS ST CITY: PEORIA STATE: IL ZIP: 61629 BUSINESS PHONE: 3096751000 MAIL ADDRESS: STREET 1: 100 NE ADAMS ST CITY: PEORIA STATE: IL ZIP: 61629 FORMER COMPANY: FORMER CONFORMED NAME: CATERPILLAR TRACTOR CO DATE OF NAME CHANGE: 19860623 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OBERHELMAN DOUGLAS R CENTRAL INDEX KEY: 0001171770 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 131254379 MAIL ADDRESS: STREET 1: 100 NE ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-11-29 0000018230 CATERPILLAR INC CAT 0001171770 OBERHELMAN DOUGLAS R 100 N.E. ADAMS STREET PEORIA IL 61629 1 1 0 0 CEO & Chairman of the Board Common Stock 2013-11-13 5 G 0 97 0 D 161767 D Phantom Stock Units 2013-11-29 4 A 0 142 84.60 A Common Stock 142 59885 D Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. This total includes 95 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $84.60 and 47 phantom stock units that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. The phantom stock units are tol be settled 100% in cash upon the reporting person's retirement or separation from service. Douglas R. Oberhelman; S.R. Underwood, POA 2013-12-03